[Federal Register Volume 86, Number 246 (Tuesday, December 28, 2021)]
[Rules and Regulations]
[Pages 73631-73638]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-28116]


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NUCLEAR REGULATORY COMMISSION

10 CFR Parts 11, 25, and 95

[NRC-2020-0133]
RIN 3150-AK49


Access Authorization Fees

AGENCY: Nuclear Regulatory Commission.

ACTION: Direct final rule.

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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its 
regulations to update the access authorization fees charged to NRC 
licensees for work performed under the Material Access Authorization 
Program and the Information Access Authority Program. The change in 
fees is due to an increase in the review time for each application for 
access authorization. This amendment is prompted by a recent audit of 
fees performed by an external certified public accounting and financial 
management services firm and ensures that the NRC continues to recover 
the full costs of processing access authorization requests from NRC 
licensees. The direct final rule also makes two administrative changes 
to revise definitions to include new naming conventions for background 
investigation case types and to specify the electronic process for 
completing security forms.

DATES: The final rule is effective March 14, 2022, unless significant 
adverse comments are received by January 27, 2022. If the direct final 
rule is withdrawn as a result of such comments, timely notification of 
the withdrawal will be published in the Federal Register. Comments 
received

[[Page 73632]]

after this date will be considered if it is practical to do so, but the 
NRC is able to ensure consideration only for comments received on or 
before this date. Comments received on this direct final rule will also 
be considered to be comments on a companion proposed rule published in 
the Proposed Rules section of this issue of the Federal Register.

ADDRESSES: You may submit comments by any of the following methods; 
however, the NRC encourages electronic comment submission through the 
Federal rulemaking website:
     Federal rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0133. Address 
questions about NRC dockets to Dawn Forder; telephone: 301-415-3407; 
email: [email protected]. For technical questions, contact the 
individual listed in the FOR FURTHER INFORMATION CONTACT section of 
this document.
     Email comments to: [email protected]. If you do 
not receive an automatic email reply confirming receipt, then contact 
us at 301-415-1677.
     Mail comments to: Secretary, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001, ATTN: Rulemakings and 
Adjudications Staff.
    For additional direction on obtaining information and submitting 
comments, see ``Obtaining Information and Submitting Comments'' in the 
SUPPLEMENTARY INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Emily Robbins, Office of 
Administration, telephone: 301-415-7000, email: [email protected] 
or Vanessa Cox, Office of Nuclear Material Safety and Safeguards, 
telephone: 301-415-8342, email: [email protected]. Both are staff of 
the U.S. Nuclear Regulatory Commission, Washington DC 20555-0001.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Obtaining Information and Submitting Comments
II. Rulemaking Procedure
III. Background
IV. Discussion
V. Section-by-Section Analysis
VI. Regulatory Flexibility Certification
VII. Regulatory Analysis
VIII. Backfitting and Issue Finality
IX. Plain Writing
X. National Environmental Policy Act
XI. Paperwork Reduction Act Statement
XII. Congressional Review Act
XIII. Voluntary Consensus Standards

I. Obtaining Information and Submitting Comments

A. Obtaining Information

    Please refer to Docket ID NRC-2020-0133 when contacting the NRC 
about the availability of information for this action. You may obtain 
publicly available information related to this action by any of the 
following methods:
     Federal Rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2020-0133.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may obtain publicly available documents online in the 
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, select ``Begin Web-based ADAMS 
Search.'' For problems with ADAMS, please contact the NRC's Public 
Document Room (PDR) reference staff at 1-800-397-4209, at 301-415-4737, 
or by email to [email protected]. The ADAMS accession number for 
each document referenced (if it is available in ADAMS) is provided the 
first time that it is mentioned in this document.
     NRC's PDR: You may examine and purchase copies of public 
documents, by appointment, at the NRC's PDR, Room P1 B35, One White 
Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. To make 
an appointment to visit the PDR, please send an email to 
[email protected] or call 1-800-397-4209 or 301-415-4737, between 
8:00 a.m. and 4:00 p.m. (ET), Monday through Friday, except Federal 
holidays.

B. Submitting Comments

    The NRC encourages electronic comment submission through the 
Federal rulemaking website (https://www.regulations.gov). Please 
include Docket ID NRC-2020-0133 in your comment submission.
    The NRC cautions you not to include identifying or contact 
information that you do not want to be publicly disclosed in your 
comment submission. The NRC will post all comment submissions at 
https://www.regulations.gov as well as enter the comment submissions 
into ADAMS. The NRC does not routinely edit comment submissions to 
remove identifying or contact information.
    If you are requesting or aggregating comments from other persons 
for submission to the NRC, then you should inform those persons not to 
include identifying or contact information that they do not want to be 
publicly disclosed in their comment submission. Your request should 
state that the NRC does not routinely edit comment submissions to 
remove such information before making the comment submissions available 
to the public or entering the comment into ADAMS.

II. Rulemaking Procedure

    Because the NRC considers this action to be non-controversial, the 
NRC is using the ``direct final rule process'' for this rule. This 
amendment is effective on March 14, 2022. However, if the NRC receives 
significant adverse comments on this direct final rule by January 27, 
2022, then the NRC will publish a document that withdraws this action 
and will address the comments received in a subsequent final rule as a 
response to the companion proposed rule published in the Proposed Rules 
section of this issue of the Federal Register. Absent significant 
modifications to the proposed revisions requiring republication, the 
NRC will not initiate a second comment period on this action.
    A significant adverse comment is a comment where the commenter 
explains why the rule would be inappropriate, including challenges to 
the rule's underlying premise or approach, or would be ineffective or 
unacceptable without a change. A comment is adverse and significant if 
it meets the following criteria:
    (1) The comment opposes the rule and provides a reason sufficient 
to require a substantive response in a notice-and-comment process. For 
example, a substantive response is required under the following 
circumstances:
    (a) The comment causes the NRC to reevaluate (or reconsider) its 
position or conduct additional analysis;
    (b) The comment raises an issue serious enough to warrant a 
substantive response to clarify or complete the record; or
    (c) The comment raises a relevant issue that was not previously 
addressed or considered by the NRC.
    (2) The comment proposes a change or an addition to the rule, and 
it is apparent that the rule would be ineffective or unacceptable 
without incorporation of the change or addition.
    (3) The comment causes the NRC to make a change (other than 
editorial) to the rule.
    For detailed instructions on filing comments, please see the 
ADDRESSES section of this document.

III. Background

    Certain individuals employed by NRC licensees or their contractors 
require access to special nuclear material (plutonium, uranium-233, and 
uranium enriched in the isotopes uranium-233 or uranium-235), 
restricted data, or

[[Page 73633]]

national security information. These individuals obtain an access 
authorization from the NRC. When a licensee requests access 
authorization for an employee or a contractor, the NRC initiates an 
investigation of the individual seeking access authorization. Based on 
the results of that investigation, the NRC determines whether 
permitting that individual to have access to special nuclear material, 
restricted data, or national security information would create a 
security risk.
    The Defense Counterintelligence and Security Agency (DCSA) conducts 
the access authorization background investigations for the NRC and sets 
the rates charged for these investigations. The combined cost of the 
DCSA background investigation and any related NRC processing activities 
(NRC processing fee) is recovered from the licensee through an access 
authorization fee assessed by the NRC. It is the NRC's practice to 
publish the fee schedule for special nuclear material access 
authorization in Sec.  11.15(e) of title 10 of the Code of Federal 
Regulations (10 CFR) and the corresponding fee schedule for restricted 
data and national security information access authorization in appendix 
A to 10 CFR part 25. Both schedules are based on rates charged by DCSA 
for conducting the access authorization background investigations (DCSA 
investigation billing rates).

IV. Discussion

Updated Access Authorization Fees

    This direct final rule amends 10 CFR parts 11, 25, and 95, along 
with appendix A to 10 CFR part 25. The NRC is revising the processing 
fee charged to licensees for work performed under the Material Access 
Authorization Program (MAAP) and the Information Access Authority 
Program (IAAP) from 55.8 percent of the DCSA investigation billing 
rates to 90.2 percent. A September 2019 NRC audit of actual in-house 
costs incurred in processing licensee applications for access 
authorization showed an increase in the NRC's review time for each 
application. The audit also showed that the NRC was not recovering its 
full-cost fees for the time spent processing the increased number of 
complex applications; despite a 2016 biennial review indicating 
increasing costs, the NRC had not adjusted its fees since 2012.
    In addition, all requests for reciprocity will be charged a flat 
fee rate of $95.00. Previously, the NRC did not charge a fee for 
reciprocity requests because certain applications from individuals with 
current Federal access authorizations were processed expeditiously and 
at a reduced cost. This flat fee will be aligned with the level of 
effort that has recently been expended by DCSA to process reciprocity 
requests and accounts for inflation as well as recovery of the 
appropriate cost for conducting this work. In cases where reciprocity 
is not acceptable and it is necessary to perform a background 
investigation, then the NRC will charge the appropriate fee based on 
the DCSA investigation billing rate. This direct final rule continues 
to allow licensees to calculate the NRC access authorization fee for 
any given application by referencing the current DCSA investigation 
billing rates schedule for background investigation services. 
Reimbursable billing rates for personnel background investigations are 
published by DCSA in a Federal Investigations Notice (FIN). The current 
DCSA investigation billing rates are published on the DCSA website and 
are available at https://www.dcsa.mil/mc/pv/gov_hr_security/billing_rates/. The NRC's licensees can also obtain the current DCSA 
investigation billing rates schedule by contacting the NRC's Personnel 
Security Branch, Division of Facilities and Security, Office of 
Administration by email at 
[email protected].
    The fee-calculation formula is designed to recover the NRC's actual 
in-house processing costs for each application received from a 
licensee. The NRC's access authorization fee for any given request is 
determined using the following formula: The DCSA investigation billing 
rates on the day the NRC receives the application + the NRC processing 
fee = the NRC material access authorization fee. The provisions in this 
direct final rule set the NRC processing fee; the fee is determined by 
multiplying the DCSA investigation billing rate on the day the NRC 
receives the application by 90.2 percent (i.e., DCSA rate x 90.2 
percent).
    Public Law 115-439, the Nuclear Energy Innovation and Modernization 
Act (42 U.S.C. 2215), requires the NRC to recover through fees the full 
cost incurred in providing a service or thing of value. As noted 
previously, the DCSA investigation billing rates are pulled directly 
from the current DCSA fee schedule for investigations. The tables in 
revised Sec.  11.15(e)(3) and appendix A to 10 CFR part 25 cross-
reference each type of NRC access authorization request to the 
appropriate investigation service listed in the DCSA's investigation 
billing rates schedule. For example, a licensee seeking a special 
nuclear material ``NRC-U'' access authorization requiring a Tier 5 (T5) 
investigation is directed by the table in Sec.  11.15(e)(3) to 
calculate the NRC processing fee based on the DCSA investigation 
billing rates for a ``standard'' T5 investigation. According to the 
current DCSA investigation billing rates schedule (FIN 20-04, ``FY 2021 
and FY 2022 Investigations Reimbursable Billing Rates,'' June 30, 
2020), the DCSA charges $5,465 for a ``standard'' T5 investigation. The 
table instructs the licensee to calculate the NRC's application 
processing fee by multiplying $5,465 by 90.2 percent, which equals 
$4,929.43. The licensee then rounds the NRC's processing fee to the 
nearest dollar, or $4,929, and adds that amount to the DCSA 
investigation billing rate of $5,465 to determine the total NRC access 
authorization fee: $10,394.
    The following table illustrates the calculation process:

------------------------------------------------------------------------
                                 Plus NRC application      Equals total
                                    processing fee          NRC access
 Current DCSA investigation  ----------------------------  authorization
billing rate for standard T5   DCSA rate NRC fee x 90.2%   fee for NRC-U
                               = (rounded to nearest $)     application
------------------------------------------------------------------------
$5,465                        $5,465 x 90.2% = $               = $10,394
                               4,929,43 (rounded to
                               $4,929).
------------------------------------------------------------------------

    Licensees applying for restricted data or national security 
information access authorization follow a similar procedure. The table 
in appendix A to 10 CFR part 25 cross-references each type of ``Q'' or 
``L'' access authorization to the corresponding DCSA investigation 
type. The DCSA investigation billing rate for the type of investigation 
referenced is determined by consulting the current DCSA investigation 
billing rates schedule. This rate is then used in the formula to 
calculate the correct NRC access authorization fee for the type of

[[Page 73634]]

application submitted. Copies of the current NRC access authorization 
fees can be obtained by contacting the NRC's Personnel Security Branch, 
Division of Facilities and Security, Office of Administration by email 
to [email protected]. Any change in 
the NRC's access authorization fees will be applicable to each access 
authorization request received on or after the effective date of the 
DCSA's most recently published investigation billing rates schedule.

Administrative Changes

    In Federal Investigations Notice Number 16-07, dated September 26, 
2016 (https://www.dcsa.mil/Portals/91/Documents/pv/GovHRSec/FINs/FY16/fin-16-07.pdf), the Office of Personnel Management (OPM) implemented 
the Federal Investigative Standards according to the phased Federal 
Investigative Standards Implementation Plan issued by the Suitability 
and Security Executive Agents. In accordance with the plan, the Access 
National Agency Check with Inquiries was renamed to Tier 3 (T3) and the 
National Agency Check with Law and Credit was renamed to Tier 3 
reinvestigation (T3R). The T3 investigation is required for positions 
designated as non-critical sensitive and/or requiring eligibility for 
``L'' or ``R'' access or access to Confidential or Secret information. 
The T3R is the reinvestigation product for the same positions. The 
Single Scope Background Investigation was renamed to Tier 5 (T5) and 
the Single Scope Background Investigation-Periodic Reinvestigation was 
renamed to Tier 5R (T5R). The T5 investigation is required for 
positions designated as critical sensitive, special sensitive, and/or 
requiring eligibility for ``Q'' or ``U'' access or access to Top Secret 
or Sensitive Compartmented Information. The T5R is the reinvestigation 
product required for the same positions. This direct final rule revises 
the definitions in 10 CFR parts 11, 25, and 95 to include the new 
naming conventions for background investigations case types. The 
definitions for the NRC ``R'' and NRC ``U'' special nuclear material 
access authorizations include the renamed investigation types Tier 3 
and Tier 5, respectively. Also, the definitions for NRC ``L'' and NRC 
``Q'' access authorizations include the renamed investigation types 
Tier 3 and Tier 5, respectively.
    In 2005, the OPM implemented the Electronic Questionnaires for 
Investigative Processing (e-QIP) system, which allows applicants to 
electronically enter, update, and release their personal investigative 
data over a secure internet connection to an employing agency for 
review and approval. The e-QIP system is a web-based automated system 
that facilitates the processing of standard investigative forms used 
when conducting background investigations for Federal security, 
suitability, fitness, and credentialing purposes. The NRC allows 
applicants to complete their security form, the Questionnaire for 
National Security Positions, Standard Form 86 (SF-86), electronically 
through the (e-QIP) system to minimize errors and expedite processing. 
This direct final rule updates 10 CFR parts 11 and 25 to clarify that 
the NRC uses the e-QIP system for applicants to provide their personal 
investigative data.

V. Section-by-Section Analysis

    The following paragraphs describe the specific changes in this 
direct final rule.

Section 11.7 Definitions

    This direct final rule revises the definitions in Sec.  11.7 for 
NRC-``R'' special nuclear material access authorization and NRC-``U'' 
special nuclear material access authorization to include the new naming 
conventions for background investigations case types.

Section 11.8 Information Collection Requirements: OMB Approval

    This direct final rule revises Sec.  11.8 to add a new paragraph 
(c) to clarify that the information collections for the electronic form 
``Electronic Questionnaire for Investigations Processing (e-QIP), 
Questionnaire for National Positions--Standard Form 86 (SF-86)'' are 
approved under OMB control number 3206-0005.

Section 11.15 Application for Special Nuclear Material Access 
Authorization

    This direct final rule revises paragraphs (b)(1) and (c)(1)(ii) to 
specify the electronic form of the SF-86.
    This direct final rule revises paragraph (e)(1) to revise the NRC 
processing fee charged to licensees for work performed under the MAAP 
from 55.8 percent of the DCSA investigation billing rates to 90.2 
percent.
    This direct final rule revises paragraph (e)(3) to (1) change the 
NRC processing fee charged to licensees for work performed under the 
MAAP from 55.8 percent of the DCSA investigation billing rates to 90.2 
percent, (2) indicate that MAAP requests for reciprocity will be 
charged at a flat fee rate of $95.00, and (3) include the new naming 
conventions for background investigations case types.
    This direct final rule revises paragraph (e)(4) to clarify that 
certain applications from individuals with current Federal access 
authorizations may be processed expeditiously and at a reduced cost.
    This direct final rule revises paragraph (f)(1) to include the new 
naming conventions for background investigations case types.

Section 11.16 Cancellation of Request for Special Nuclear Material 
Access Authorization

    This direct final rule revises Sec.  11.16 to include the new 
naming conventions for background investigations case types.

Section 25.5 Definitions

    This direct final rule revises the definitions for ``L'' access 
authorization and ``Q'' access authorization to include the new naming 
conventions for background investigations case types.

Section 25.8 Information Collection Requirements: OMB Approval

    This direct final rule revises Sec.  25.8(c)(2) to clarify that the 
information collections for the electronic form ``Electronic 
Questionnaire for Investigations Processing (e-QIP), Questionnaire for 
National Positions--Standard Form 86 (SF-86)'' are approved under OMB 
control number 3206-0005.

Section 25.17 Approval for Processing Applicants for Access 
Authorization

    This direct final rule revises paragraph (d)(1)(i) to specify the 
electronic form of the SF-86.
    This direct final rule revises paragraph (f)(1) to change the NRC 
processing fee charged to licensees for work performed under the IAAP 
from 55.8 percent of the DCSA investigation billing rates to 90.2 
percent.
    This direct final rule revises paragraph (f)(3) to indicate that 
IAAP requests for reciprocity will be charged a flat fee rate of 
$95.00.

Appendix A to 10 CFR Part 25--Fees for NRC Access Authorization

    This direct final rule revises the table in appendix A to 10 CFR 
part 25 to include the new naming conventions for background 
investigations case types.

Section 95.5 Definitions

    This direct final rule revises the definitions for NRC ``L'' access 
authorization and NRC ``Q'' access authorization to include the new 
naming conventions for background investigations case types.

[[Page 73635]]

VI. Regulatory Flexibility Certification

    Under the Regulatory Flexibility Act (5 U.S.C. 605(b)), the 
Commission certifies that this direct final rule amending 10 CFR parts 
11, 25, and 95 does not have a significant economic impact on a 
substantial number of small entities. This direct final rule applies to 
those licensees who use, process, store, transport, or deliver to a 
carrier for transport, formula quantities of special nuclear material 
(as defined in 10 CFR part 73) or generate, receive, safeguard, and 
store National Security Information or Restricted Data (as defined in 
10 CFR part 95). Two licensees, both fuel cycle facilities, are 
currently required to comply with 10 CFR part 11. Seventy-eight 
licensees and other organizations, mostly power reactors and fuel cycle 
facilities, are currently required to comply with 10 CFR part 25. None 
of these licensees are ``small entities'' as defined in the Regulatory 
Flexibility Act or the size standards established by the NRC (Sec.  
2.810). This direct final rule also applies to contractors of those 
licensees required to comply with this direct final rule who use, 
process, store, transport, or deliver to a carrier for transport, 
formula quantities of special nuclear material (as defined in 10 CFR 
part 73) or generate, receive, safeguard, and store National Security 
Information or Restricted Data (as defined in 10 CFR part 95). Some of 
these contractors may be ``small entities'' as defined in the 
Regulatory Flexibility Act or the NRC's size standards. However, some 
of these contractors are reimbursed through the contract for the cost 
of securing access authorization. There are not a substantial number of 
unreimbursed ``small entity'' contractors who apply for access 
authorization, nor is the NRC aware of any significant impact on these 
unreimbursed ``small entity'' contractors.

VII. Regulatory Analysis

    A regulatory analysis has not been prepared for this direct final 
rule. This direct final rule ensures that the NRC recovers the full 
cost of application processing from licensees submitting access 
authorization requests, as is required by statute (42 U.S.C. 2214(b)). 
The formula method for calculating these fees continues to provide an 
efficient and effective mechanism for updating the NRC access 
authorization fees in response to changes in the underlying DCSA 
investigation billing rates schedule for required personnel background 
investigations. The Nuclear Energy Innovation and Modernization Act (42 
U.S.C. 2215) requires the NRC to recover through fees the full cost 
incurred in providing a service or thing of value. These amendments 
will neither impose new safety requirements nor relax existing ones 
and, therefore, do not call for the sort of safety/cost analysis 
described in the NRC's regulatory analysis guidelines in NUREG/BR-0058, 
Revision 4, ``Regulatory Analysis Guidelines of the U.S. Nuclear 
Regulatory Commission,'' dated September 2004 (ADAMS Accession No. 
ML042820192).

VIII. Backfitting and Issue Finality

    The NRC has determined that the backfit rule does not apply to this 
direct final rule and that a backfit analysis is not required. 
Collection of fees to recover the NRC's costs is required by statute 
(42 U.S.C. 2214(b)). Therefore, changes to rules designating the amount 
to be collected are not subject to the backfitting provisions or issue 
finality provisions in 10 CFR chapter I.

IX. Plain Writing

    The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal 
agencies to write documents in a clear, concise, and well-organized 
manner. The NRC has written this document to be consistent with the 
Plain Writing Act as well as the Presidential Memorandum, ``Plain 
Language in Government Writing,'' published June 10, 1998 (63 FR 
31885).

X. National Environmental Policy Act

    The NRC has determined that this final rule is the type of action 
described in 10 CFR 51.22(c)(1), which is categorically excluded from 
environmental review. Therefore, neither an environmental impact 
statement nor environmental assessment has been prepared for this final 
rule.

XI. Paperwork Reduction Act Statement

    This direct final rule does not contain new or amended information 
collection requirements subject to the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501 et seq.). Existing requirements were approved by the 
Office of Management and Budget (OMB), Approval Numbers 3150-0046 and 
3150-0062.

Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, a request for information or an information collection 
requirement unless the requesting document displays a currently valid 
OMB control number.

XII. Congressional Review Act

    In accordance with the Congressional Review Act of 1996 (5 U.S.C. 
801-808), the NRC has determined that this action is not a major rule 
and has verified this determination with the Office of Information and 
Regulatory Affairs of the Office of Management and Budget.

XIII. Voluntary Consensus Standards

    The National Technology Transfer and Advancement Act of 1995, 
Public Law 104-113, requires that Federal agencies use technical 
standards that are developed or adopted by voluntary consensus 
standards bodies unless the use of such a standard is inconsistent with 
applicable law or is otherwise impractical. In this direct final rule, 
the NRC will revise the formula for calculating the NRC's access 
authorization fee charged to licensees for work performed under MAAP 
and IAAP from 55.8 percent of the DCSA investigation billing rate for 
an investigation of a given type to 90.2 percent. In addition, MAAP 
requests for reciprocity will be charged a flat fee rate of $95.00. 
This action does not constitute the establishment of a standard that 
contains generally applicable requirements.

List of Subjects

10 CFR Part 11

    Hazardous materials transportation, Investigations, Nuclear energy, 
Nuclear materials, Penalties, Reporting and recordkeeping requirements, 
Security measures, Special nuclear material.

10 CFR Part 25

    Classified information, Criminal penalties, Investigations, 
Penalties, Reporting and recordkeeping requirements, Security measures.

10 CFR Part 95

    Classified information, Criminal penalties, Penalties, Reporting 
and recordkeeping requirements, Security measures.

    For the reasons set forth in the preamble and under the authority 
of the Atomic Energy Act of 1954, as amended; the Energy Reorganization 
Act of 1974, as amended; and 5 U.S.C. 552 and 553, the NRC is adopting 
the following amendments to 10 CFR parts 11, 25, and 95:

PART 11--CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILITY FOR 
ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL

0
1. The authority citation for part 11 continues to read as follows:

    Authority: Atomic Energy Act of 1954, secs. 161, 223 (42 U.S.C. 
2201, 2273); Energy

[[Page 73636]]

Reorganization Act of 1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C. 
3504 note.
    Section 11.15(e) also issued under 31 U.S.C. 9701; 42 U.S.C. 
2214.

0
2. In Sec.  11.7, revise the definitions for NRC-``R'' special nuclear 
material access authorization and NRC-``U'' special nuclear material 
access authorization to read as follows:


Sec.  11.7   Definitions.

* * * * *
    NRC-``R'' special nuclear material access authorization means an 
administrative determination based upon a Tier 3 background 
investigation that an individual in the course of employment is 
eligible to work at a job falling within the criterion of Sec.  
11.11(a)(2).
    NRC-``U'' special nuclear material access authorization means an 
administrative determination based upon a Tier 5 background 
investigation that an individual in the course of employment is 
eligible to work at a job falling within the criterion of Sec.  
11.11(a)(1) or Sec.  11.13.
* * * * *

0
3. Sec.  In 11.8, add paragraph (c) to read as follows:


Sec.  11.8   Information collection requirements: OMB approval.

* * * * *
    (c) In Sec.  11.15, the SF-86, ``Electronic Questionnaire for 
Investigations Processing (e-QIP), Questionnaire for National 
Positions--Standard Form 86,'' is approved under control number 3206-
0005.

0
4. In Sec.  11.15, revise paragraphs (b)(1), (c)(1)(ii), (e)(1), (3), 
and (4), and (f)(1) to read as follows:


Sec.  11.15   Application for special nuclear material access 
authorization.

* * * * *
    (b) * * *
    (1) Electronic Questionnaire for Investigations Processing (e-QIP), 
Questionnaire for National Security Positions--Standard Form 86 (SF-
86);
* * * * *
    (c)(1) * * *
    (ii) The Electronic Questionnaire for Investigations Processing (e-
QIP), Questionnaire for National Security Positions--Standard Form 86 
(SF-86);
* * * * *
    (e) * * *
    (1) Each application for a special nuclear material access 
authorization, renewal, or change in level must be accompanied by a 
remittance, payable to the U.S. Nuclear Regulatory Commission, which is 
equal to the NRC material access authorization fee. This fee must be 
determined using the following formula: The DCSA investigation billing 
rates on the day of NRC receipt of the application + the NRC processing 
fee = the NRC material access authorization fee. The NRC processing fee 
is determined by multiplying the DCSA investigation billing rate on the 
day of NRC receipt of the application by 90.2 percent (i.e., DCSA rate 
x 90.2 percent).
* * * * *
    (3) The NRC's Material Access Authorization Program (MAAP) is 
considered reimbursable work representing services provided to an 
organization for which the NRC is entitled payment. The NRC is 
authorized to receive and retain fees from licensees for services 
performed. The NRC's Office of the Chief Financial Officer periodically 
reviews the fees charged for MAAP and makes recommendations on revising 
those charges to reflect costs incurred by the NRC in providing those 
services. The reviews are performed using cost analysis techniques to 
determine the direct and indirect costs. Based on this review, all MAAP 
requests for reciprocity will be charged a flat fee rate of $95.00 as 
referenced in paragraph (e)(4)(i) of this section. This flat fee would 
be aligned with the level of effort that has recently been expended by 
DCSA to process reciprocity requests, and accounts for inflation as 
well as recovery of the appropriate cost for conducting this work. 
Copies of the current NRC material access authorization fee may be 
obtained by contacting the NRC's Personnel Security Branch, Division of 
Facilities and Security, Office of Administration by email to: 
[email protected]. Any change in the 
NRC's access authorization fees will be applicable to each access 
authorization request received on or after the effective date of the 
DCSA's most recently published investigation billing rates schedule.
    (4) Certain applications from individuals having current Federal 
access authorizations may be processed expeditiously and at a reduced 
cost because the Commission, at its discretion, may decide to accept 
the certification of access authorizations and investigative data from 
other Federal Government agencies that grant personnel access 
authorizations.
    (i) Applications for reciprocity will be processed at the NRC flat 
fee rate of $95 per request as referenced in the following table:

------------------------------------------------------------------------
 The NRC application fee for an access authorization of
                       type . . .                          NRC fee rate
------------------------------------------------------------------------
(A) NRC-R based on certification of comparable                       $95
 investigation \1\......................................
(B) NRC-U based on certification of comparable                        95
 investigation \2\......................................
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
  Tier 3 investigation is necessary, the appropriate NRC-R fee will be
  assessed as shown in paragraph (e)(4)(ii) of this section before the
  conduct of the investigation.
\2\ If the NRC determines, based on its review of available data, that a
  Tier 5 investigation is necessary, the appropriate NRC-U fee will be
  assessed as shown in paragraph (e)(4)(ii) of this section before the
  conduct of the investigation.

    (ii) Applicants shall, in cases where reciprocity is not acceptable 
and it is necessary to perform a background investigation, be charged 
the appropriate fee as referenced in the following table. Applicants 
shall calculate the access authorization fee according to the stated 
formula (i.e., DCSA rate x 90.2 percent).

----------------------------------------------------------------------------------------------------------------
                                                                                      Plus the NRC's processing
                                                                                     fee (rounded to the nearest
                                                   Is the sum of the current DCSA    dollar), which is equal to
     The NRC application fee for an access           investigation billing rate        the DCSA investigation
          authorization of type . . .             charged for an investigation of   billing rate for the type of
                                                             type . . .               investigation referenced
                                                                                       multiplied by . . . (%)
----------------------------------------------------------------------------------------------------------------
(A) NRC-R initial \1\..........................  Tier 3 (T3) (Standard Service)...                         90.2
(B) NRC-R renewal \1\..........................  Tier 3 Reinvestigation (T3R)                              90.2
                                                  (Standard Service).
(C) NRC-U initial..............................  Tier 5 (T5) (Standard Service)...                         90.2
(D) NRC-U initial (expedited processing).......  Tier 5 (T5) (Priority Handling)..                         90.2
(E) NRC-U renewal \1\..........................  Tier 5 Reinvestigation (T5R)                              90.2
                                                  (Standard Service).

[[Page 73637]]

 
(F) NRC-U renewal \1\ (expedited processing)...  Tier 5 Reinvestigation (T5R)                              90.2
                                                  (Priority Handling).
----------------------------------------------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the
  appropriate NRC-U fee will be assessed before the conduct of the investigation.

    (f)(1) Any Federal employee, employee of a contractor of a Federal 
agency, licensee, or other person visiting an affected facility for the 
purpose of conducting official business, who possesses an active NRC or 
DOE-Q access authorization or an equivalent Federal security clearance 
granted by another Federal agency (``Top Secret'') based on a 
comparable T5 background investigation may be permitted, in accordance 
with Sec.  11.11, the same level of unescorted access that an NRC-U 
special nuclear material access authorization would afford.
* * * * *


Sec.  11.16   [Amended]

0
5. In Sec.  11.16, fourth sentence:
0
a. Remove the designation `` ``U'' '' and add in its place the 
designation `` ``U'' or ``R'' ''; and
0
b. Remove the designation ``single scope'' and add in its place the 
designation ``Tier 5''.

PART 25--ACCESS AUTHORIZATION

0
6. The authority citation for part 25 continues to read as follows:

    Authority:  Atomic Energy Act of 1954, secs. 145, 161, 223, 234 
(42 U.S.C. 2165, 2201, 2273, 2282); Energy Reorganization Act of 
1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C. 3504 note; E.O. 10865, 25 
FR 1583, as amended, 3 CFR, 1959-1963 Comp., p. 398; E.O. 12829, 58 
FR 3479, 3 CFR, 1993 Comp., p. 570; E.O. 13526, 75 FR 707, 3 CFR, 
2009 Comp., p. 298; E.O. 12968, 60 FR 40245, 3 CFR, 1995 Comp., p. 
391.
    Section 25.17(f) and Appendix A also issued under 31 U.S.C. 
9701; 42 U.S.C. 2214.


0
7. In Sec.  25.5, revise the definitions for ``L'' access authorization 
and ``Q'' access authorization to read as follows:


Sec.  25.5   Definitions.

* * * * *
    ``L'' access authorization means an access authorization granted by 
the Commission that is normally based on a Tier 3 (T3) investigation 
conducted by the Defense Counterintelligence and Security Agency 
(DCSA).
* * * * *
    ``Q'' access authorization means an access authorization granted by 
the Commission normally based on a Tier 5 (T5) investigation conducted 
by the Defense Counterintelligence and Security Agency, the Federal 
Bureau of Investigation, or other U.S. Government agency that conducts 
personnel security investigations.
* * * * *

0
8. In Sec.  25.8, revise paragraph (c)(2) to read as follows:


Sec.  25.8   Information collection requirements: OMB approval.

* * * * *
    (c) * * *
    (2) In Sec. Sec.  25.17(c), 25.21(c), 25.27(b), 25.29, and 25.31, 
the ``Electronic Questionnaire for Investigations Processing (e-QIP), 
Questionnaire for National Positions--Standard Form 86 (SF-86)'' is 
approved under control number 3206-0005.
* * * * *

0
9. In Sec.  25.17, revise paragraphs (d)(1)(i) and (f)(1), (3), and (4) 
to read as follows:


Sec.  25.17   Approval for processing applicants for access 
authorization.

* * * * *
    (d)(1) * * *
    (i) Electronic Questionnaire for Investigations Processing (e-QIP), 
Questionnaire for National Security Positions--Standard Form 86 (SF-
86).
* * * * *
    (f) * * *
    (1) Each application for access authorization, renewal, or change 
in level must be accompanied by a remittance, payable to the U.S. 
Nuclear Regulatory Commission, which is equal to the NRC access 
authorization fee. This fee must be determined using the following 
formula: The DCSA investigation billing rates on the day the NRC 
receives the application + the NRC processing fee = the NRC access 
authorization fee. The NRC processing fee is determined by multiplying 
the DCSA investigation billing rate on the day the NRC receives the 
application by 90.2 percent (i.e., DCSA rate x 90.2 percent).
* * * * *
    (3) The NRC's Information Access Authority Program (IAAP) is 
considered reimbursable work representing services provided to an 
organization for which the NRC is entitled payment. The NRC is 
authorized to receive and retain fees from licensees for services 
performed. The NRC's Office of the Chief Financial Officer periodically 
reviews the fees charged for IAAP and makes recommendations on revising 
those charges to reflect costs incurred by the NRC in providing those 
services. The reviews are performed using cost analysis techniques to 
determine the direct and indirect costs. Based on this review, the IAAP 
fees are adjusted to reflect the current cost for the program. IAAP 
requests for reciprocity will be charged a flat fee rate of $95.00 as 
referenced in paragraph (f)(4) of this section. This flat fee is 
aligned with the level of effort that has been expended by DCSA to 
process reciprocity requests, and accounts for inflation as well as 
recovery of the appropriate cost for conducting the investigations. 
Copies of the current NRC access authorization fee may be obtained by 
contacting the NRC's Personnel Security Branch, Division of Facilities 
and Security, Office of Administration by email at: 
[email protected]. Any change in the 
NRC's access authorization fee will be applicable to each access 
authorization request received on or after the effective date of the 
DCSA's most recently published investigation billing rates schedule.
    (4) Certain applications from individuals having current Federal 
access authorizations may be processed more expeditiously and at less 
cost because the Commission, at its discretion, may decide to accept 
the certification of access authorization and investigative data from 
other Federal Government agencies that grant personnel access 
authorizations.
    (i) Applications for reciprocity will be processed at the NRC flat 
fee rate of $95 per request, as referenced in the following table:

[[Page 73638]]



------------------------------------------------------------------------
 The NRC application fee for an access authorization of
                       type . . .                          NRC fee rate
------------------------------------------------------------------------
(A) NRC-L based on certification of comparable                       $95
 investigation \1\......................................
(B) NRC-Q based on certification of comparable                        95
 investigation \2\......................................
------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a
  Tier 3 investigation is necessary, the appropriate NRC-L fee will be
  assessed as shown in appendix A to this part before the conduct of the
  investigation.
\2\ If the NRC determines, based on its review of available data, that a
  Tier 5 investigation is necessary, the appropriate NRC-Q fee will be
  assessed as shown in appendix A to this part before the conduct of the
  investigation.

    (ii) Applicants shall, in cases where reciprocity is not acceptable 
and it is necessary to perform a background investigation, be charged 
the appropriate fee referenced in appendix A to this part. Applicants 
shall calculate the access authorization fee according to the stated 
formula (i.e., DCSA rate x 90.2 percent).

0
10. Revise appendix A to part 25 to read as follows:

Appendix A to Part 25--Fees for NRC Access Authorization

----------------------------------------------------------------------------------------------------------------
                                                                                      Plus the NRC's processing
                                                                                     fee (rounded to the nearest
                                                   Is the sum of the current DCSA     dollar), which is equal to
     The NRC application fee for an access       investigation billing rate charged   the investigation billing
          authorization of type . . .            for an investigation of type . . .      rate for the type of
                                                                                       investigation referenced
                                                                                       multiplied by . . . (%)
----------------------------------------------------------------------------------------------------------------
Initial ``L'' access authorization \1\.........  Tier 3 (T3) (Standard Service)....                         90.2
Reinstatement of ``L'' access authorization \2\  No fee assessed for most            ...........................
                                                  applications.
Renewal of ``L'' access authorization \1\......  Tier 3 Reinvestigation (T3R)                               90.2
                                                  (Standard Service).
Initial ``Q'' access authorization.............  Tier 5 (T5) (Standard Service)....                         90.2
Initial ``Q'' access authorization (expedited    T5 (Priority Handling)............                         90.2
 processing).
Reinstatement of ``Q'' access authorization \2\  No fee assessed for most            ...........................
                                                  applications.
Renewal of ``Q'' access authorization\1\.......  Tier 5 Reinvestigation (T5R)                               90.2
                                                  (Standard Service).
Renewal of ``Q'' access authorization \1\......  Tier 5 Reinvestigation (T5R)                               90.2
                                                  (Priority Handling).
----------------------------------------------------------------------------------------------------------------
\1\ If the NRC determines, based on its review of available data, that a Tier 5 investigation is necessary, the
  appropriate fee for an Initial ``Q'' access authorization will be assessed before the conduct of
  investigation.
\2\ Full fee will only be charged if an investigation is required.

PART 95--FACILITY SECURITY CLEARANCE AND SAFEGUARDING OF NATIONAL 
SECURITY INFORMATION AND RESTRICTED DATA

0
11. The authority citation for part 95 continues to read as follows:

    Authority:  Atomic Energy Act of 1954, secs. 145, 161, 223, 234 
(42 U.S.C. 2165, 2201, 2273, 2282); Energy Reorganization Act of 
1974, sec. 201 (42 U.S.C. 5841); 44 U.S.C. 3504 note; E.O. 10865, as 
amended, 25 FR 1583, 3 CFR, 1959-1963 Comp., p. 398; E.O. 12829, 58 
FR 3479, 3 CFR, 1993 Comp., p. 570; E.O. 12968, 60 FR 40245, 3 CFR, 
1995 Comp., p. 391; E.O. 13526, 75 FR 707, 3 CFR, 2009 Comp., p. 
298.


0
12. In Sec.  95.5, revise the definitions for NRC ``L'' access 
authorization and NRC ``Q'' access authorization to read as follows:


Sec.  95.5   Definitions.

* * * * *
    NRC ``L'' access authorization means an access authorization 
granted by the Commission that is normally based on a Tier 3 (T3) 
investigation or a Tier 3 reinvestigation (T3R) conducted by the 
Defense Counterintelligence and Security Agency.
    NRC ``Q'' access authorization means an access authorization 
granted by the Commission normally based on a Tier 5 (T5) investigation 
conducted by the Defense Counterintelligence and Security Agency, the 
Federal Bureau of Investigation, or other U.S. Government agency that 
conducts personnel security investigations.
* * * * *

    Dated: December 21, 2021.

    For the Nuclear Regulatory Commission.
Daniel H. Dorman,
Executive Director for Operations.
[FR Doc. 2021-28116 Filed 12-27-21; 8:45 am]
BILLING CODE 7590-01-P